Supervisory Control Specialist

Responsibilities

• Review and analyze controls to manage high-risk investment strategies and complex products
• Participate and consult regarding policies, procedures, controls, tools, and training
• Evaluate resources to monitor risk and exercise independent judgment to guide process improvements and technology enhancements
• Gather and analyze data to identify trends and present findings through meaningful statistics
• Collaborate with Financial Advisors, Management, Market Leaders, and various Business Units to ensure regulatory compliance
• Develop expertise in firm, compliance, and regulatory policies and procedures

Requirements

• 2+ years of experience in Supervisory Control, Risk Management, Corporate Insurance Risk, or equivalent
• Successfully completed FINRA Series 7, 9/10, and 66 examinations (or recognized equivalents)
• Ability to travel up to 25 percent of the time

Preferred Qualifications

• 2+ years of experience within the financial services industry
• Experience in compliance or broker-dealer governance
• Proven ability to partner with business and supervision partners to resolve complex issues
• Strong interpersonal, negotiation, and conflict-management skills
• Ability to manage multiple competing priorities and work independently

Benefits

• Health, dental, and vision benefits
• 401(k) plan
• Paid time off and parental leave
• Life, critical illness, and accident insurance
• Tuition reimbursement and scholarships for dependent children
• Commuter benefits and adoption reimbursement

About the Company

Wells Fargo & Company is a leading financial services company with approximately $2.1 trillion in assets, providing a diversified set of banking, investment, and mortgage products and services globally.